Sr. Director of Compliance, Futures Commission Merchant (FCM)
About the role
NinjaTrader Clearing, LLC, a registered Futures Commission Merchant and NFA Member, is seeking a Director or Sr. Director, FCM Compliance. This role provides strategic leadership and hands-on oversight of the Firm’s FCM compliance framework.
Responsibilities
Partner with the CCO in overseeing the Firm’s compliance program for futures, options on futures, and cleared swaps activities conducted as an FCM
Maintain and enhance written supervisory procedures, compliance policies, and supporting control documentation governing customer protection, supervision, complaint handling, and other applicable regulatory requirements
Translate regulatory obligations into practical supervisory controls, clear ownership, and evidence standards
Design and evolve a data-driven compliance monitoring and testing program, leveraging automation, workflow tools, analytics, and regtech solutions to increase coverage and reduce manual lift
Identify opportunities to eliminate manual dependencies and systematize, automate, and embed compliance controls within trading, clearing, finance, and customer workflows
Lead regulatory change management efforts, including assessment of CFTC, NFA, and exchange rule developments, impact analysis, and implementation across business units
Lead day-to-day regulatory engagement activities, including coordination of NFA examinations, CFTC inquiries, and exchange reviews, and preparation of materials for CCO review and approval
Provide second-line oversight support with respect to financial responsibility requirements, including customer funds segregation, secured amount calculations, and net capital compliance, in coordination with Finance and Operations
Advise senior management and business stakeholders on regulatory obligations affecting trading conduct, clearing operations, promotional standards, margin and collateral processes, reporting, supervision, and operational change
Support new product launches, operational enhancements, automation initiatives, and technology deployments through structured compliance-by-design assessments
Manage and mentor members of the compliance staff while fostering a culture of continuous improvement
Prepare compliance reporting and governance materials for senior management and assist in drafting the Annual CCO Report and other key program deliverables
Identify emerging regulatory risks, control gaps, or scalability constraints and escalate material matters to the CCO in a timely and well-supported manner
Serve as the CCO’s designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed
Requirements
8–12 years of futures compliance experience, including substantial experience within or directly supporting an FCM
Strong working knowledge of CFTC regulations applicable to FCMs
Strong working knowledge of NFA Compliance Rules and Interpretive Notices
Strong working knowledge of exchange rulebooks (e.g., CME Group)
Strong working knowledge of customer protection and financial responsibility frameworks (segregation, secured amount, net capital)
Demonstrated experience leading or materially supporting regulatory examinations, inquiries, and remediation programs
Ability to design, implement, and scale supervisory controls, governance processes, and compliance infrastructure
Strong judgment, clear communication, and the ability to influence cross-functional stakeholders
Skills
Series 3 preferred
Experience in a growth environment where compliance infrastructure is being scaled
Benefits
Generous PTO
7 Paid Holidays Annually + 5 Conditional Holidays Annually
1 Service Day Annually
401k with 3.5% Company Match
Paid Parental Bonding Leave
Health, Vision, Dental Coverage
Life and Disability Insurance Covered 100% by NinjaTrader